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Charles E Fulkerson

CRD# 6768356·Registered 2017 - 2023
Previously Registered: Being a previously registered professional could mean that Charles is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Charles E Fulkerson, who also goes by Chuck Fulkerson, was a registered financial advisor. Charles was a previously registered financial professional and started their career in finance 2017 - 2023. Charles had worked at 1 firm and has passed the Series 63 and Series 65 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Chuck Fulkerson

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

9 years in the financial services industry

Current & Past Employments

SYMPHONY FINANCIAL, LTD. CO.·CRD# 171816
RIA
Kingwood, TX
August 1, 2017 - March 3, 2023

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Current Firm

SF
SYMPHONY FINANCIAL, LTD. CO.

ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT

CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - SEC (6/30/2014 Approved)

Contact Information

Main Address

4295 San Felipe Suite 300, Houston, TX 77027

Phone Number

(281) 272-6800

# of Employees

26

SEC notice filing (24 States and Territories)

Registered to provide investment advisory services in 24 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2 WRAP BROCHURE (4/1/2026)

Regulatory Assets Under Management

Total Number of Accounts

4,178

AUM (Assets Under Management)

$1,354,847,217

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. The name of the OBA: Salt and Light ministries Investment Related: No The address of the OBA: 2502 Oak Mill Drive, Kingwood Tx 77345 The nature of the OBA: Ministry Podcast Position, title, or relationship with the OBA: Co-host The start date of the relationship with the OBA: 03/05/2005 The approximate number of hours/month devoted to the OBA: 4 The number of hours devoted to the OBA during securities trading hours: 0 Briefly describe the duties relating to the OBA: Co-host a podcast designed to spread faith awareness. Also positions me in the faith based Catholic Community 2. The name of the OBA: Insperity Investment Related: No The address of the OBA: 19001 Crescent Springs Dv, Kingwood Tx 77339 The nature of the OBA: HR Outsourcing Position, title, or relationship with the OBA: Senior Sales Trainer The start date of the relationship with the OBA: O1/19/2018 The approximate number of hours/month devoted to the OBA: 150 The number of hours devoted to the OBA during securities trading hours: 8 Briefly describe the duties relating to the OBA: Sales training for employees of Insperity to sell their solutions. NSP is a publicly traded entity and to minimize exposure NSP is never traded in personal or client accounts. 3. The name of the OBA: National Farm Life Investment Related: No The address of the OBA: 2502 Oak Mill Drive, Kingwood Tx 77345 The nature of the OBA: Life Insurance and fixed annuities Position, title, or relationship with the OBA: Independent Agent The start date of the relationship with the OBA: 08/07/2018 The approximate number of hours/month devoted to the OBA: 0 The number of hours devoted to the OBA during securities trading hours: 0 Briefly describe the duties relating to the OBA: Offer my clients an option for Whole and Term insurance products or fixed annuities. 4. The name of the OBA: TreadersArmy.com Investment Related: no The address of the OBA: 2502 Oak Mill Drive, Kingwood Tx 77345 The nature of the OBA: Trading Videos and Teaching Position, title, or relationship with the OBA: Sr. Trader / Owner The start date of the relationship with the OBA: 08/12/2018 The approximate number of hours/month devoted to the OBA: 8 The number of hours devoted to the OBA during securities trading hours: 0 Briefly describe the duties relating to the OBA: An extension of Daily Market Commentary efforts to provide a marketing lead source back into IIE Financial 5. The name of the OBA: Investor's Business Daily - Independent Contractor Investment Related: Yes The address of the OBA: 2502 Oak Mill Drive, Kingwood Tx 77345 The nature of the OBA: Content writing of IBD strategies and video recording Position, title, or relationship with the OBA: Independent Contractor The start date of the relationship with the OBA: 04/15/2018 The approximate number of hours/month devoted to the OBA: 40 The number of hours devoted to the OBA during securities trading hours: 0-10 (only when traveling to California to film courses) Briefly describe the duties relating to the OBA: Modify existing IBD content and add personal experience to create home study material. Once material is created record the home study material on video for IBD. Will eventually include presenting weekend seminars for IBD in 2019. No securities trading hours time added for this role.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
SYMPHONY FINANCIAL, LTD. CO.

ACROPOLIS CAPITAL PARTNERS | THE GREENSAGE GROUP | SYMPHONY FINANCIAL, LTD. CO. | SHANK WEALTH MANAGEMENT | INSIGHT WEALTH MANAGEMENT | IIE FINANCIAL | DOGWOOD CAPITAL ADVISORS | CROSSPOINT WEALTH MANAGEMENT | BOLLICH & BURGOYNE | AVIATION RETIREMENT STRATEGIES/PRIVATE WEALTH MANAGEMENT | AVIATION RETIREMENT STRATEGIES | ARS PRIVATE WEALTH | APEX WEALTH & RISK MANAGEMENT

CRD#: 171816 / SEC#: 801-79989
RIA
Registered Investment Advisory firm - SEC (6/30/2014 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2017About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2017About the Series 65 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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